Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Does Piwowar's Departure Throw a Wrench Into SEC's Broker Conduct Plan?
By Melanie WaddellThe commissioner's departure comes as Kara Stein is also slated to step down.
May 04, 2018
Timber! SEC Chops Down $85M Ponzi Scheme: EnforcementThe SEC also charged a lawyer in microcap fraud schemes.
May 03, 2018
FINRA to Toughen Sanctions on Repeat ViolatorsThe revised Sanction Guidelines also tell adjudicators to consider arbitration actions filed by clients against a broker.
May 02, 2018
AICPA Wants IRS to Clarify No-Rule Policy for S CorporationsIRS stance leaves S corporations without recourse to remedy issues unique to them, the accounting group says.
May 02, 2018
Gotcha! SEC Searchable Database Flags Enforcement RecordsSALI helps identify registered and unregistered individuals who have been parties to past SEC enforcement actions and against whom federal courts have entered judgments.
May 02, 2018
5th Circuit Denies AARP, States' Request to Intervene in DOL Fiduciary RulingDrinker Biddle's Fred Reish speculated to ThinkAdvisor on Labor's next move.
May 01, 2018
SEC Releases FAQ on 12b-1 Fee InitiativeThe FAQ provides more information about advisor eligibility, disgorgement and distribution of funds to clients.
May 01, 2018
Goldman Sachs to Pay $110M to N.Y., Fed for FX TradesThe resolution covers trading from 2008 to 2013, several years after a far bigger wave of penalties tied to foreign-exchange trading by other global banks.